Summary
Senior risk and compliance leader with multi-organization experience in financial services and mortgage-oriented firms. rocketreach+1
Experienced in governance, risk and compliance (GRC) advisory work, including presenting and participating in industry GRC events while at KPMG. metricstream+1
Active contributor to industry peer discussions on third-party risk, SOC reporting, and broker-dealer due diligence, demonstrating engagement with practitioner communities. thirdpartythinktank+1
Work
Education
Writing
Broker Dealer Relationships
April 1, 2024Forum discussion post addressing due diligence and ongoing monitoring for broker-dealer relationships, including checks like FINRA BrokerCheck.
SOC Report
March 1, 2024Forum discussion post about SOC reports (SOC 1/SOC 2), their types and use in vendor due diligence and audits.